The Broker Client Agreement serves as the foundational document governing the relationship between broker-dealers and their clients in the United States securities market. This agreement is essential for compliance with SEC regulations, FINRA rules, and federal securities laws, including Regulation Best Interest. It details the scope of services, fee structures, risk disclosures, and obligations of both parties. The agreement typically includes mandatory disclosures, account management terms, and dispute resolution procedures, while incorporating recent regulatory requirements such as Form CRS and fiduciary duty standards.
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1. Parties: Identification of the broker and client, including full legal names and contact details
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement
4. Services: Detailed description of brokerage services to be provided
5. Fees and Compensation: Structure of fees, commissions, and payment terms
6. Client Obligations: Client responsibilities and representations
7. Risk Disclosures: Mandatory risk warnings and acknowledgments
8. Privacy and Data Protection: Information handling and confidentiality provisions
9. Termination: Conditions and process for ending the agreement
1. Margin Account Provisions: Additional terms and conditions for margin trading services when offered
2. Online Trading Provisions: Specific terms and conditions for electronic trading platform access and usage
3. International Trading: Additional provisions governing international securities trading services
4. Options Trading: Specific terms and conditions for options trading activities
1. Fee Schedule: Detailed breakdown of all applicable fees and charges
2. Risk Disclosure Statement: Comprehensive risk warnings required by regulations
3. Privacy Policy: Detailed privacy and data protection policies
4. Electronic Trading Agreement: Terms specific to electronic trading platforms
5. Margin Disclosure Statement: Required disclosures for margin accounts
6. Form CRS: Customer Relationship Summary as required by SEC
Relevant legal definitions
Account
Applicable Laws
Authorized Person
Broker-Dealer
Business Day
Client Assets
Confidential Information
Custodian
Electronic Trading Platform
Execution Services
FINRA
Investment Objectives
Margin Account
Market Hours
Order
Personal Information
Professional Client
Retail Client
Securities
Services
Settlement Date
Trading Day
Transaction
SEC
Suitability Requirements
System
Trading Documentation
U.S. Person
Governing Law
Force Majeure Event
Investment Profile
Material Change
Risk Disclosure Statement
Fee Schedule
Third Party Service Provider
Applicable Laws
Authorized Person
Broker-Dealer
Business Day
Client Assets
Confidential Information
Custodian
Electronic Trading Platform
Execution Services
FINRA
Investment Objectives
Margin Account
Market Hours
Order
Personal Information
Professional Client
Retail Client
Securities
Services
Settlement Date
Trading Day
Transaction
SEC
Suitability Requirements
System
Trading Documentation
U.S. Person
Governing Law
Force Majeure Event
Investment Profile
Material Change
Risk Disclosure Statement
Fee Schedule
Third Party Service Provider
Clauses
Services and Scope
Account Opening
Authorization
Trading Instructions
Fees and Commissions
Client Representations
Risk Disclosure
Margin Requirements
Order Execution
Settlement
Custody
Confidentiality
Privacy and Data Protection
Electronic Trading
Market Data
Regulatory Compliance
Anti-Money Laundering
Record Keeping
Client Communications
Dispute Resolution
Indemnification
Limitation of Liability
Force Majeure
Termination
Assignment
Amendments
Governing Law
Jurisdiction
Notices
Entire Agreement
Severability
Conflicts of Interest
Default
Account Statements
Tax Compliance
Account Opening
Authorization
Trading Instructions
Fees and Commissions
Client Representations
Risk Disclosure
Margin Requirements
Order Execution
Settlement
Custody
Confidentiality
Privacy and Data Protection
Electronic Trading
Market Data
Regulatory Compliance
Anti-Money Laundering
Record Keeping
Client Communications
Dispute Resolution
Indemnification
Limitation of Liability
Force Majeure
Termination
Assignment
Amendments
Governing Law
Jurisdiction
Notices
Entire Agreement
Severability
Conflicts of Interest
Default
Account Statements
Tax Compliance
Relevant Industries
Relevant Teams
Relevant Roles
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